Smith, Robert Guy Frederick
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2009-06-18 | Rep | Dealing in securities | 2009-06-18 |
| 2 | LEHMAN BROTHERS ASIA LIMITED | Rep | Advising on corporate finance | 2007-10-09 | 2008-09-29 | Rep | Advising on securities | 2007-10-09 | 2008-09-29 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2008-10-09 | 2009-03-12 | Rep | Advising on securities | 2008-10-09 | 2009-03-12 | Rep | Dealing in securities | 2008-11-04 | 2009-03-12 |
| 4 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2008-10-09 | 2009-03-12 | Rep | Advising on securities | 2008-10-09 | 2009-03-12 | Rep | Dealing in securities | 2008-11-04 | 2009-03-12 |
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